IHS Privacy Act system notice 09 17 0001, IHS Medical, Health and Billing Records

Federal Register / Vol. 75, No. 7 / Tuesday, January 12, 2010 / Notices
approved or pending drug product
application, he will be subject to civil
money penalties. In addition, FDA will
not accept or review any ANDAs
submitted by or with the assistance of
Mr. Vale during his period of
debarment.
Any application by Mr. Vale for
termination of debarment under section
306(d)(4) of the act should be identified
with Docket No. FDA–2008–N–0305
and sent to the Division of Dockets
Management (see ADDRESSES). All such
submissions are to be filed in four
copies. The public availability of
information in these submissions is
governed by 21 CFR 10.20(j). Publicly
available submissions may be seen in
the Dockets Management Branch
between 9 a.m. and 4 p.m., Monday
through Friday.
Dated: January 4, 2010.
Jesse L. Goodman,
Acting Chief Scientist and Deputy
Commissioner for Science and Public Health.
[FR Doc. 2010–289 Filed 1–11–10; 8:45 am]
BILLING CODE 4160–01–S

DEPARTMENT OF HEALTH AND
HUMAN SERVICES
Indian Health Service
Privacy Act of 1974; Report of
Amended or Altered System; Medical,
Health and Billing Records System
AGENCY:

Indian Health Service (IHS),

HHS.

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ACTION: Amendment of One Altered
Privacy Act System of Records
(PASOR), 09–17–0001.
SUMMARY: Pursuant to the provisions of
the Privacy Act of 1974, as amended, 5
U.S.C. 552a(e)(4), the IHS has amended
and is publishing the proposed
alteration of a system of records, System
No. 09–17–0001, ‘‘Medical, Health and
Billing Records.’’ The amended and
altered system of records is to reflect
revisions in the Purpose and Routine
Uses sections, the Notification
Procedures section and updates to
Appendix 1 of the PASOR.
In the Purpose section of the PASOR,
IHS is altering number seven to allow
the disclosure of controlled substance
prescription data and/or protected
health information (PHI) and personally
identifiable information (PII) to its
business associate contractor(s) for
stated healthcare operations prior to
transferring to various State Health
Monitoring Programs and Registries;
and to disclose data transmission of PHI
to various health data exchange,

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regional health information and
e-prescribing networks.
In the Routine Uses section, routine
use number thirteen is altered to
include language that will allow the
disclosure to various stated healthcare
operations and health data exchange,
regional health information and eprescribing networks.
In the Notification Procedure section
under Record Access and Contesting
Record procedures, IHS is referencing
its various IHS forms with its stated
purposes to be utilized by the
requester(s).
Effective Dates: IHS filed an
altered system report with the Chair of
the House Committee on Oversight and
Government Reform, the Chair of the
Senate Committee on Homeland
Security and Governmental Affairs, and
the Administrator, Office of Information
and Regulatory Affairs, Office of
Management and Budget (OMB) on
January 12, 2010. To ensure that all
parties have adequate time in which to
comment, the altered PASOR will
become effective 40 days from the
publication of the notice, or from the
date the SOR was submitted to OMB
and the Congress, whichever is later,
unless IHS receives comments on all
portions of this notice.
ADDRESSES: The public should address
comments to: Mr. William Tibbitts, IHS
Privacy Act Officer, Division of
Regulatory Affairs, Office of
Management Services, 801 Thompson
Avenue, TMP, Suite 450, Rockville, MD
20852–1627; call non-toll free (301)
443–1116; send via facsimile to (301)
443–9879, or send your e-mail requests,
comments, and return address to:
William.Tibbitts@ihs.gov.
DATES:

FOR FURTHER INFORMATION CONTACT: Ms.
Patricia Gowan, IHS Lead Health
Information Management (HIM)
Consultant and Area HIM Consultants,
Office of Health Programs, Phoenix Area
Office, Two Renaissance Square, Suite
606, 40 North Central Avenue, Phoenix,
AZ 85004–4450, Telephone (602) 364–
5172 or via the Internet at
Patricia.Gowan@ihs.gov.

As
required by the Privacy Act of 1974, as
amended, 5 U.S.C. 552a(e)(4), this
document sets forth the amendment of
the proposed alteration of a system of
records maintained by the IHS. IHS is
altering System No. 09–17–0001,
‘‘Health, Medical and Billing Records,’’
for the stated reasons. First, a change to
the Purpose section number seven will
further enable IHS to disclose controlled
substance prescription data to a
business associate contractor(s) for

SUPPLEMENTARY INFORMATION:

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stated healthcare operations prior to
transferring to various State Health
Monitoring Programs and Registries; as
well as to enable IHS to disclose data
transmission of PHI to various health
data exchange and/or regional health
information contractors. Second, a
change to the Routine Uses section
number thirteen will enable IHS to
allow the disclosure of information from
the record for the various stated
healthcare operations and Health Data
Exchange; Regional Health Information;
and e-prescribing networks.
Dated: December 29, 2009.
Yvette Roubideaux,
Director, Indian Health Service.

Department of Health and Human
Services
Indian Health Service
System Number: 09–17–0001
SYSTEM NAME:

Medical, Health, and Billing Records
Systems, Health and Human Services/
Indian Health Service/Office of Clinical
and Preventive Services (HHS/IHS/
OCPS).
SECURITY CLASSIFICATION:

None.
SYSTEM LOCATION:

IHS hospitals, health centers, school
health centers, health stations, field
clinics, Service Units, IHS Area Offices
(Appendix 1), and Federal Archives and
Records Centers (Appendix 2).
Automated, electronic health and
computerized records, including but not
limited to clinical information and
Patient Care Component (PCC) records,
are stored in the Resource and Patient
Management System (RPMS) at the
National Programs/Office of Information
Technology (NP/OIT), IHS, located in
Albuquerque, New Mexico. Records
may also be located at contractor sites.
A current list of contractor sites is
available by writing to the appropriate
System Manager (Area or Service Unit
Director/Chief Executive Officer) at the
address shown in Appendix 1.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:

Individuals, including both IHS
beneficiaries and non-beneficiaries, who
are examined/treated on an inpatient
and/or outpatient basis by IHS staff and/
or contract health care providers
(including Tribal contractors).
CATEGORIES OF RECORDS IN THE SYSTEM:

Note: Records relating to claims by and
against the HHS are maintained in the
Privacy Act System of Records (PASOR)

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Notice, Administrative Claims System, 09–
90–0062, HHS/Office of the Secretary/Office
of the General Counsel (HHS/OS/OGC). Such
claims include those arising under the
Federal Torts Claims Act, Military Personnel
and Civilian Employees Claims Act, Federal
Claims Collection Act, Federal Medical Care
Recovery Act, and the Act for Waiver of
Overpayment of Pay.

1. Health and medical records
containing examination, diagnostic and
treatment data, proof of IHS eligibility,
social data (such as name, address, date
of birth, Social Security Number (SSN),
Tribe), laboratory test results, and
dental, social service, domestic
violence, sexual abuse and/or assault,
mental health, and nursing information.
2. Follow-up registers of individuals
with a specific health condition or a
particular health status such as cancer,
diabetes, communicable diseases,
suspected and confirmed abuse and
neglect, immunizations, suicidal
behavior, or disabilities.
3. Logs of individuals provided health
care by staff of specific hospital or clinic
departments such as surgery,
emergency, obstetric delivery, medical
imaging, and laboratory.
4. Surgery and/or disease indices for
individual facilities that list each
relevant individual by the surgery or
disease.
5. Monitoring strips and tapes such as
fetal monitoring strips and
Electroencephalogram (EEG) and
Electrocardiogram (EKG) tapes.
6. Third-party reimbursement and
billing records containing name,
address, date of birth, dates of service,
third party insurer claim numbers, SSN,
health plan name, insurance number,
employment status, and other relevant
claim information necessary to process
and validate third-party reimbursement
claims.
7. Contract Health Service (CHS)
records containing name, address, date
of birth, dates of care, Medicare or
Medicaid claim numbers, SSN, health
plan name, insurance number,
employment status, and other relevant
claim information necessary to
determine CHS eligibility and to process
CHS claims.

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AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Departmental Regulations (5 U.S.C.
301); Privacy Act of 1974 (5 U.S.C.
552a); Federal Records Act (44 U.S.C.
2901); Section 321 of the Public Health
Service Act, as amended (42 U.S.C.
248); Section 327A of the Public Health
Service Act, as amended (42 U.S.C.
254a); Snyder Act (25 U.S.C. 13); Indian
Health Care Improvement Act (25 U.S.C.
1601 et seq.); and the Transfer Act of
1954 (42 U.S.C. 2001–2004).

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PURPOSES:

The purposes of this system are:
1. To provide a description of an
individual’s diagnosis, treatment and
outcome, and to plan for immediate and
future care of the individual.
2. To collect and provide information
to IHS officials and epidemiology
centers established and funded under 25
U.S.C. 1621m in order to evaluate health
care programs and to plan for future
needs.
3. To serve as a means of
communication among members of the
health care team who contribute to the
individual’s care; e.g., to integrate
information from field visits with
records of treatment in IHS facilities and
with non-IHS health care providers.
4. To serve as the official
documentation of an individual’s health
care.
5. To contribute to continuing
education of IHS staff to improve the
delivery of health care services.
6. For disease surveillance purposes.
For example:
(a) The Centers for Disease Control
and Prevention may use these records to
monitor various communicable
diseases;
(b) The National Institutes of Health
may use these records to review the
prevalence of particular diseases (e.g.,
malignant neoplasms, diabetes mellitus,
arthritis, metabolism, and digestive
diseases) for various ethnic groups of
the United States; or
(c) Those public health authorities
that are authorized by law and
epidemiology centers established and
funded under 25 U.S.C. 1621m may use
these records to collect or receive such
information for purposes of preventing
or controlling disease, injury, or
disability, including, but not limited to,
the reporting of disease, injury, vital
events such as birth or death and the
conduct of public health surveillance,
investigations, and interventions.
7. To compile and provide aggregated
program statistics. Upon request of other
components of HHS, IHS will provide
statistical information, from which
individual/personal identifiers have
been removed, such as:
(a) To the National Committee on
Vital and Health Statistics for its
dissemination of aggregated health
statistics on various ethnic groups;
(b) To the Assistant Secretary for
Planning and Evaluation, Health Policy
to keep a record of the number of
sterilizations provided by Federal
funding;
(c) To the Centers for Medicare &
Medicaid Services (CMS) to document
IHS health care covered by the Medicare

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and Medicaid programs for third-party
reimbursement; or
(d) To the Office of Clinical Standards
and Quality, CMS to determine the
prevalence of end-stage renal disease
among the American Indian and Alaska
Native (AI/AN) population and to
coordinate individual care.
8. To process and collect third-party
claims and facilitate fiscal intermediary
functions and to process debt collection
activities.
9. To improve the IHS national
patient care database by means of
obtaining and verifying an individual’s
SSN with the Social Security
Administration (SSA).
10. To provide information to organ
procurement organizations or other
entities engaged in the procurement,
banking, or transplantation of organs to
facilitate organ, eye, or tissue donation
and transplant.
11. To provide information to
individuals about treatment alternatives
or other types of health-related benefits
and services.
12. To provide information to the
Food and Drug Administration (FDA) in
connection with an FDA-regulated
product or activity.
13. To provide information to
correctional institutions as necessary for
health and safety purposes.
14. To provide information to
governmental authorities (e.g., social
services or protective services agencies)
on victims of abuse, neglect, sexual
assault or domestic violence.
15. To provide information to the
National Archives and Records
Administration in records management
inspections conducted under the
authority of 44 U.S.C. 2901 et seq.
16. To provide relevant health care
information to funeral directors or
representatives of funeral homes to
allow necessary arrangements prior to
and in anticipation of an individual’s
impending death.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:

This system of records contains
individually identifiable health
information. The HHS Privacy Act
Regulations (45 CFR Part 5b) and the
Privacy Rule (45 CFR Parts 160 and 164)
issued pursuant to the Health Insurance
Portability and Accountability Act
(HIPAA) of 1996 apply to most health
information maintained by IHS. Those
regulations may place additional
procedural requirements on the uses
and disclosures of such information
beyond those found in the Privacy Act
of 1974 or mentioned in this system of
records notice. An accounting of all

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disclosures of a record made pursuant to
the following routine uses will be made
and maintained by IHS for five years or
for the life of the records, whichever is
longer.

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Note: Special requirements for alcohol and
drug abuse patients: If an individual receives
treatment or a referral for treatment for
alcohol or drug abuse, then the
Confidentiality of Alcohol and Drug Abuse
Patient Records Regulations, 42 CFR Part 2,
may apply. In general, under these
regulations, the only disclosures of the
alcohol or drug abuse record that may be
made without patient consent are: (1) To
meet medical emergencies (42 CFR 2.51), (2)
for research, audit, evaluation and
examination (42 CFR 2.52–2.53), (3) pursuant
to a court order (42 CFR 2.61–2.67), and (4)
pursuant to a qualified service organization
agreement, as defined in 42 CFR 2.11.

In all other situations, written consent
of the individual is usually required
prior to disclosure of alcohol or drug
abuse information under the routine
uses listed below.
1. Records may be disclosed to
Federal and non-Federal (public or
private) health care providers that
provide health care services to IHS
individuals for purposes of planning for
or providing such services, or reporting
results of medical examination and
treatment.
2. Records may be disclosed to
Federal, State, local or other authorized
organizations that provide third-party
reimbursement or fiscal intermediary
functions for the purposes of billing or
collecting third-party reimbursements.
Relevant records may be disclosed to
debt collection agencies under a
business associate agreement
arrangement directly or through a third
party.
3. Records may be disclosed to State
agencies or other entities acting
pursuant to a contract with CMS, for
fraud and abuse control efforts, to the
extent required by law or under an
agreement between IHS and respective
State Medicaid agency or other entities.
4. Records may be disclosed to school
health care programs that serve AI/AN
for the purpose of student health
maintenance.
5. Records may be disclosed to the
Bureau of Indian Affairs (BIA) or its
contractors under an agreement between
IHS and the BIA relating to disabled AI/
AN children for the purposes of carrying
out its functions under the Individuals
with Disabilities Education Act (IDEA),
20 U.S.C. 1400, et seq.
6. Records may be disclosed to
organizations deemed qualified by the
Secretary of HHS and under a business
associate agreement to carry out quality
assessment/improvement, medical

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audits, utilization review or to provide
accreditation or certification of health
care facilities or programs.
7. Records may be disclosed under a
business associate agreement to
individuals or authorized organizations
sponsored by IHS, such as the National
Indian Women’s Resource Center, to
conduct analytical and evaluation
studies.
8. Disclosure may be made to a
congressional office from the record of
an individual in response to an inquiry
from the congressional office made at
the request of that individual. An IHS–
810 form, Authorization for Use or
Disclosure of Protected Health
Information, is required for the
disclosure of sensitive PHI (e.g.,
alcohol/drug abuse patient information,
Human Immunodeficiency Virus/
Acquired Immune Deficiency Syndrome
(HIV/AIDS), Sexually Transmitted
Diseases (STDs), or mental health) that
is maintained in the medical record.
9. Records may be disclosed for
research purposes to the extent
permitted by:
(a) Determining that the use(s) or
disclosure(s) are met under 45 CFR
164.512(i), or
(b) Determining that the use(s) or
disclosure(s) are met under 45 CFR
164.514(a) through (c) for de-identified
PHI, and 5 U.S.C. 552a(b)(5), or
(c) Determining that the requirements
of 45 CFR 164.514(e) for limited data
sets, and 5 U.S.C. 552a(b)(5) are met.
10. Information from records,
including but not limited to information
concerning the commission of crimes,
suspected cases of abuse (including
child, elder and sexual abuse), the
reporting of neglect, sexual assault or
domestic violence, births, deaths,
alcohol or drug abuse, immunization,
cancer, or the occurrence of
communicable diseases, may be
disclosed to public health authorities,
epidemiology centers established and
funded under 25 U.S.C. 1621m, and
other appropriate government
authorities which are authorized by
applicable Federal, State, Tribal or local
law or regulations to receive such
information.
Note: In Federally conducted or assisted
alcohol or drug abuse programs, under 42
CFR Part 2, disclosure of patient information
for purposes of criminal investigations must
be authorized by court order issued under 42
CFR 2.65, except that reports of suspected
child abuse may be made to the appropriate
State or local authorities under State law.

11. Information may be disclosed
from these records regarding suspected
cases of child abuse to:

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(a) Federal, State or Tribal agencies
that need to know the information in the
performance of their duties, and
(b) Members of community child
protection teams for the purposes of
investigating reports of suspected child
abuse, establishing a diagnosis,
formulating or monitoring a treatment
plan, and making recommendations to
the appropriate court. Community child
protection teams are comprised of
representatives of Tribes, the BIA, child
protection service agencies, the judicial
system, law enforcement agencies and
IHS.
12. IHS may disclose information
from these records in litigations and/or
proceedings related to an administrative
claim when:
(a) IHS has determined that the use of
such records is relevant and necessary
to the litigation and/or proceedings
related to an administrative claim and
would help in the effective
representation of the affected party
listed in subsections (i) through (iv)
below, and that such disclosure is
compatible with the purpose for which
the records were collected. Such
disclosure may be made to the HHS/
OGC and/or Department of Justice
(DOJ), pursuant to an agreement
between IHS and OGC, when any of the
following is a party to litigation and/or
proceedings related to an administrative
claim or has an interest in the litigation
and/or proceedings related to an
administrative claim:
(i) HHS or any component thereof; or
(ii) Any HHS employee in his or her
official capacity; or
(iii) Any HHS employee in his or her
individual capacity where the DOJ (or
HHS, where it is authorized to do so)
has agreed to represent the employee; or
(iv) The United States or any agency
thereof (other than HHS) where HHS/
OGC has determined that the litigation
and/or proceedings related to an
administrative claim is likely to affect
HHS or any of its components.
(b) In the litigation and/or
proceedings related to an administrative
claim described in subsection (a) above,
information from these records may be
disclosed to a court or other tribunal, or
to another party before such tribunal in
response to an order of a court or
administrative tribunal, provided that
the covered entity discloses only the
information expressly authorized by
such order.
13. Records may be disclosed under a
business associate agreement to an IHS
contractor (including a Health
Information Exchange, Regional Health
Information Organization, or Eprescribing Gateway) for the purpose of
computerized data entry, medical

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transcription, duplication services,
maintenance of records, data formatting
services or for any other agency function
or activity involving the use or
disclosure of records contained in this
system.
14. Records may be disclosed under a
personal services contract or other
agreement to student volunteers,
individuals working for IHS, and other
individuals performing functions for
IHS who do not technically have the
status of agency employees, if they need
the records in the performance of their
agency functions.
15. Records regarding specific
medical services provided to a
unemancipated minor individual may
be disclosed to the unemancipated
minor’s parent or legal guardian who
previously consented to those specific
medical services, to the extent permitted
under 45 CFR 164.502(g).
16. Records may be disclosed to an
individual having authority to act on
behalf of an incompetent individual
concerning health care decisions, to the
extent permitted under 45 CFR
164.502(g).
17. Information may be used or
disclosed from an IHS facility directory
in response to an inquiry about a named
individual from a member of the general
public to establish the individual’s
presence (and location when needed for
visitation purposes) or to report the
individual’s condition while
hospitalized (e.g., satisfactory or stable),
unless the individual objects to
disclosure of this information. IHS may
provide the religious affiliation only to
members of the clergy.
18. Information may be disclosed to a
relative, a close personal friend, or any
other person identified by the
individual that is directly relevant to
that person’s involvement with the
individual’s care or payment for health
care.
Information may also be used or
disclosed in order to notify a family
member, personal representative, or
other person responsible for the
individual’s care, of the individual’s
location, general condition or death.
If the individual is present for, or
otherwise available prior to, a use or
disclosure, and is competent to make
health care decisions;
(a) May use or disclose after the
facility obtains the individual’s consent,
(b) Provides the individual with the
opportunity to object and the individual
does not object, or
(c) It could reasonably infer, based on
professional judgment, that the
individual does not object. If the
individual is not present, or the
opportunity to agree or object cannot

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practicably be provided due to
incapacity or emergent circumstances,
an IHS health care provider may
determine, based on professional
judgment, whether disclosure is in the
individual’s best interest, and if so, may
disclose only what is directly relevant to
the individual’s health care.
19. Information concerning exposure
to the HIV/AIDS may be disclosed, to
the extent authorized by Federal, State
or Tribal law, to the sexual and/or
needle-sharing partner(s) of a subject
individual who is infected with HIV/
AIDS under the following
circumstances:
(a) The information has been obtained
in the course of clinical activities at IHS
facilities;
(b) IHS has made reasonable efforts to
counsel and encourage the subject
individual to provide information to the
individual’s sexual or needle-sharing
partner(s);
(c) IHS determines that the subject
individual is unlikely to provide the
information to the sexual or needlesharing partner(s) or that the provision
of such information cannot reasonably
be verified;
(d) The notification of the partner(s) is
made, whenever possible, by the subject
individual’s physician or by a
professional counselor and shall follow
standard counseling practices; and
(e) IHS has advised the partner(s) to
whom information is disclosed that they
shall not re-disclose or use such
information for a purpose other than
that for which the disclosure was made.
20. Records may be disclosed to
Federal and non-Federal protection and
advocacy organizations that serve AI/
AN for the purpose of investigating
incidents of abuse and neglect of
individuals with developmental
disabilities (including mental
disabilities), as defined in 42 U.S.C.
10801–10805(a)(4) and 42 CFR 51.41–
46, to the extent that such disclosure is
authorized by law and the conditions of
45 CFR 1386.22(a)(2) are met.
21. Records of an individual may be
disclosed to a correctional institution or
law enforcement official, during the
period of time the individual is either
an inmate or is otherwise in lawful
custody, for the provision of health care
to the individual or for health and safety
purposes. Disclosure may be made upon
the representation of either the
institution or a law enforcement official
that disclosure is necessary for the
provision of health care to the
individual, for the health and safety of
the individual and others (e.g., other
inmates, employees of the correctional
facility, transport officers), and for
facility administration and operations.

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This routine use applies only for as long
as the individual remains in lawful
custody, and does not apply once the
individual is released on parole or
placed on either probation or on
supervised release, or is otherwise no
longer in lawful custody.
22. Records including patient name,
date of birth, SSN, gender and other
identifying information may be
disclosed to the SSA as is reasonably
necessary for the purpose of conducting
an electronic validation of the SSN(s)
maintained in the record to the extent
required under an agreement between
IHS and SSA.
23. Disclosure of relevant health care
information may be made to funeral
directors or representatives of funeral
homes in order to allow them to make
necessary arrangements prior to and in
anticipation of an individual’s
impending death.
24. Records may be disclosed to a
public or private covered entity that is
authorized by law or charter to assist in
disaster relief efforts (e.g., the Red Cross
and the Federal Emergency Management
Administration), for purposes of
coordinating information with other
similar entities concerning an
individual’s health care, payment for
health care, notification of the
individual’s whereabouts and his or her
health status or death.
25. To appropriate Federal agencies
and Department contractors that have a
need to know the information for the
purpose of assisting the Department’s
efforts to respond to a suspected or
confirmed breach of the security or
confidentiality of information
maintained in this system of records,
and the information disclosed is
relevant and necessary for that
assistance.
POLICIES AND PRACTICES FOR STORING,
RETRIEVING, ACCESSING, RETAINING, AND
DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:

File folders, ledgers, card files,
microfiche, microfilm, computer tapes,
disk packs, digital photo discs, and
automated, computer-based or
electronic files.
RETRIEVABILITY:

Indexed by name, record number, and
SSN and cross-indexed.
SAFEGUARDS:

Safeguards apply to records stored onsite and off-site.
1. Authorized Users: Access is limited
to authorized IHS personnel, volunteers,
IHS contractors, subcontractors, and
other business associates in the
performance of their duties. Examples of

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authorized personnel include: medical
records personnel, business office
personnel, contract health staff, health
care providers, authorized researchers,
medical audit personnel, health care
team members, and legal and
administrative personnel on a need to
know basis.
2. Physical Safeguards: Records are
kept in locked metal filing cabinets or
in a secured room or in other monitored
areas accessible to authorized users at
all times when not actually in use
during working hours and at all times
during non-working hours. Magnetic
tapes, disks, other computer equipment
(e.g., pc workstations) and other forms
of personal data are stored in areas
where fire and life safety codes are
strictly enforced. Telecommunication
equipment (e.g., computer terminal,
servers, modems and disks) of the
Resource and Patient Management
System (RPMS) are maintained in
locked rooms during non-working
hours. Network (Internet or Intranet)
access of authorized individual(s) to
various automated and/or electronic
programs or computers (e.g., desktop,
laptop, handheld or other computer
types) containing protected personal
identifiers or PHI is reviewed
periodically and controlled for
authorizations, accessibility levels,
expirations or denials, including
passwords, encryptions or other devices
to gain access. Combinations and/or
electronic passcards on door locks are
changed periodically and whenever an
IHS employee resigns, retires or is
reassigned.
3. Procedural Safeguards: Within
each facility a list of personnel or
categories of personnel having a
demonstrable need for the records in the
performance of their duties has been
developed and is maintained.
Procedures have been developed and
implemented to review one-time
requests for disclosure to personnel who
may not be on the authorized user list.
Proper charge-out procedures are
followed for the removal of all records
from the area in which they are
maintained. Records may not be
removed from the facility except in
certain circumstances, such as
compliance with a valid court order or
shipment to the Federal Records
Center(s) (FRC). Persons who have a
need to know are entrusted with records
from this system of records and are
instructed to safeguard the
confidentiality of these records. These
individuals are to make no further
disclosure of the records except as
authorized by the system manager and
permitted by the Privacy Act and the
HIPAA Privacy Rule as adopted, and to

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destroy all copies or to return such
records when the need to know has
expired. Procedural instructions include
the statutory penalties for
noncompliance.
The following automated information
systems (AIS) security procedural
safeguards are in place for automated
medical, health and billing records
maintained in the RPMS. A profile of
automated systems security is
maintained. Security clearance
procedures for screening individuals,
both Government and contractor
personnel, prior to their participation in
the design, operation, use or
maintenance of IHS AIS are
implemented. The use of current
passwords and log-on codes are
required to protect sensitive automated
data from unauthorized access. Such
passwords and codes are changed
periodically. An automated or electronic
audit trail is maintained and reviewed
periodically. Only authorized IHS
Division of Information Resources staff
may modify automated files in batch
mode. Personnel at remote terminal
sites may only retrieve automated or
electronic data. Such retrievals are
password protected. Privacy Act
requirements, HIPAA Privacy and
Security Rule requirements and
specified AIS security provisions are
specifically included in contracts and
agreements and the system manager or
his/her designee oversee compliance
with these contract requirements.
4. Implementing Guidelines: HHS
Chapter 45–10 and supplementary
Chapter PHS.hf: 45–10 of the General
Administration Manual; HHS,
‘‘Automated Information Systems
Security Program Handbook,’’ as
amended; HHS IRM Policy HHS–IRM–
2000–0005, ‘‘IRM Policy for IT Security
for Remote Access’’; OMB Circular A–
130 ‘‘Management of Federal
Information Resources’’; HIPAA Security
Standards for the Protection of
Electronic Protected Health Information,
45 CFR 164.302 through 164.318; and EGovernment Act of 2002 (Pub. L. 107–
347, 44 U.S.C. Ch 36).
RETENTION AND DISPOSAL:

Patient listings which may identify
individuals are maintained in IHS Area
and Program Offices permanently.
Inactive records are held at the facility
that provided medical, health and
billing services from three to seven
years and then are transferred to the
appropriate FRC. Monitoring strips and
tapes (e.g., fetal monitoring strips, EEG
and EKG tapes) that are not stored in the
individual’s official medical record are
stored at the health facility for one year
and are then transferred to the

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appropriate FRC. (See Appendix 2 for
FRC addresses). In accordance with the
records disposition authority approved
by the Archivist of the United States,
paper records are maintained for 75
years after the last episode of individual
care except for billing records. The
retention and disposal methods for
billing records will be in accordance
with the approved IHS Records
Schedule. The disposal methods of
paper medical and health records will
be in accordance with the approved IHS
Records Schedule and National
Archives and Records Administration
(NARA). The electronic data consisting
of the individual personal identifiers
and PHI maintained in the RPMS or any
subsequent revised IHS database system
should be inactivated once the paper
record is forwarded to the appropriate
FRC.
SYSTEM MANAGER(S) AND ADDRESS:

Policy Coordinating Official: Director,
OCPS, IHS, Reyes Building, 801
Thompson Avenue, Suite 300,
Rockville, Maryland 20852–1627. See
Appendix 1. The IHS Area Office
Directors, Service Unit Directors/Chief
Executive Officers and Facility Directors
listed in Appendix 1 are System
Managers.
NOTIFICATION PROCEDURES:

General Procedure: Requests must be
made to the appropriate System
Manager (IHS Area, Program Office
Director or Service Unit Director/Chief
Executive Officer). A subject individual
who requests a copy of, or access to, his
or her medical record shall, at the time
the request is made, designate in writing
a responsible representative who will be
willing to review the record and inform
the subject individual of its contents.
Such a representative may be an IHS
health professional. When a subject
individual is seeking to obtain
information about himself/herself that
may be retrieved by a different name or
identifier than his/her current name or
identifier, he/she shall be required to
produce evidence to verify that he/she
is the person whose record he/she seeks.
No verification of identity shall be
required where the record is one that is
required to be disclosed under the
Freedom of Information Act. Where
applicable, fees for copying records will
be charged in accordance with the
schedule set forth in 45 CFR Part 5b.
Requests in Person: Identification
papers with current photographs are
preferred but not required. If a subject
individual has no identification but is
personally known to the designated
agency employee, such employee shall
make a written record verifying the

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subject individual’s identity. If the
subject individual has no identification
papers, the responsible system manager
or designated agency official shall
require that the subject individual
certify in writing that he/she is the
individual whom he/she claims to be
and that he/she understands that the
knowing and willful request or
acquisition of records concerning an
individual under false pretenses is a
criminal offense subject to a $5,000 fine.
If an individual is unable to sign his/her
name when required, he/she shall make
his/her mark and have the mark verified
in writing by two additional persons.
Requests by Mail: Written requests
must contain the name and address of
the requester, his/her date of birth and
at least one other piece of information
that is also contained in the subject
record, and his/her signature for
comparison purposes. If the written
request does not contain sufficient
information, the System Manager shall
inform the requester in writing that
additional, specified information is
required to process the request.
Requests by Telephone: Since positive
identification of the caller cannot be
established, telephone requests are not
honored.
Parents, Legal Guardians and
Personal Representatives: Parents of
minor children and legal guardians or
personal representatives of legally
incompetent individuals shall verify
their own identification in the manner
described above, as well as their
relationship to the individual whose
record is sought. A copy of the child’s
birth certificate or court order
establishing legal guardianship may be
required if there is any doubt regarding
the relationship of the individual to the
patient.

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RECORD ACCESS PROCEDURES:

Same as Notification Procedures:
Requesters may write, call or visit the
last IHS facility where medical care was
provided. Requesters should also
provide a reasonable description of the
record being sought. Requesters may be
required to fill out an IHS–810 form,
Authorization for Use or Disclosure of
Protected Health Information, for this
purpose. Requesters may be required to
fill out the following forms for the
purposes stated:
a. IHS–912–1 form, Request for
Restriction(s). (The requester may
restrict the use of their PHI with some
exceptions);
b. IHS–912–2 form, Request for
Revocation of Restriction(s). (The
requester or the IHS may revoke a
previous restriction(s));

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c. IHS–913 form, Request for An
Accounting of Disclosures. (The
requester and/or personal representative
may request an accounting where IHS
has disclosed during the calendar year
without their consent); or,
d. IHS–963 form, Request for
Confidential Communication By
Alternative Means or Alternate
Location. (The requester and/or
personal representative may request
their PHI be communicated by an
alternative means such as regular mail,
telephone, or facsimile; or
communicated to an alternate location).
Contesting Record Procedures:
Requesters may write, call or visit the
appropriate IHS Area/Program Office
Director or Service Unit Director/Chief
Executive Officer at his/her address
specified in Appendix 1, and specify the
information being contested, the
corrective action sought, and the
reasons for requesting the correction,
along with supporting information to
show how the record is inaccurate,
incomplete, untimely, or irrelevant. The
requestor shall use the IHS–917 form,
Request for Correction/Amendment of
Protected Health Information, for this
purpose.
Record source categories: Individual
and/or family members, IHS health care
personnel, contract health care
providers, State and local health care
provider organizations, Medicare and
Medicaid funding agencies, and the
SSA.
SYSTEMS EXEMPTED FROM CERTAIN PROVISIONS
OF THE ACT:

None.
Appendix 1—System Managers and
IHS Locations Under Their Jurisdiction
Where Records Are Maintained
Director, Aberdeen Area Indian Health
Service, Room 309, Federal Building,
115 Fourth Avenue, SE., Aberdeen,
South Dakota 57401.
Director, Cheyenne River Service Unit,
Eagle Butte Indian Hospital, P.O. Box
1012, Eagle Butte, South Dakota 57625.
Director, Crow Creek Service Unit, Ft.
Thompson Indian Health Center, P.O.
Box 200, Ft. Thompson, South Dakota
57339.
Director, Fort Berthold Service Unit, Fort
Berthold Indian Health Center, P.O. Box
400, New Town, North Dakota 58763.
Director, Carl T. Curtis Health Center, P.O.
Box 250, Macy, Nebraska 68039.
Director, Fort Totten Service Unit, Fort
Totten Indian Health Center, P.O. Box
200, Fort Totten, North Dakota 58335.
Director, Kyle Indian Health Center, P.O.
Box 540, Kyle, South Dakota 57752.
Director, Lower Brule Indian Health
Center, P.O. Box 191, Lower Brule, South
Dakota 57548.

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Director, McLaughlin Indian Health Center,
P.O. Box 879, McLaughlin, South Dakota
57642.
Director, Omaha-Winnebago Service Unit,
Winnebago Indian Hospital, Winnebago,
Nebraska 68071.
Director, Pine Ridge Service Unit, Pine
Ridge Indian Hospital, Pine Ridge, South
Dakota 57770.
Director, Rapid City Service Unit, Rapid
City Indian Hospital, 3200 Canyon Lake
Drive, Rapid City, South Dakota 57701.
Director, Rosebud Service Unit, Rosebud
Indian Hospital, Rosebud, South Dakota
57570.
Director, Sisseton-Wahpeton Service Unit,
Sisseton Indian Hospital, P.O. Box 189,
Sisseton, South Dakota 57262.
Director, Standing Rock Service Unit, Fort
Yates Indian Hospital, P.O. Box J, Fort
Yates, North Dakota 58538.
Director, Trenton-Williston Indian Health
Center, P.O. Box 210, Trenton, North
Dakota 58853.
Director, Turtle Mountain Service Unit,
Belcourt Indian Hospital, P.O. Box 160,
Belcourt, North Dakota 58316.
Director, Wanblee Indian Health Center,
100 Clinic Drive, Wanblee, South Dakota
57577.
Director, Yankton-Wagner Service Unit,
Wagner Indian Hospital, 110 Washington
Street, Wagner, South Dakota 57380.
Director, Youth Regional Treatment Center,
P.O. Box 68, Mobridge, South Dakota
57601.
Director, Sac & Fox Health Center, 307
Meskwaki Road, Tama, Iowa 52339.
Director, Santee Health Center, 425 Frazier
Avenue, N ST Street #2, Niobrara,
Nebraska 68760.
Director, Alaska Area Native Indian Health
Service, 4141 Ambassador Drive, Suite
300, Anchorage, Alaska 99508–5928.
Director, Albuquerque Area Health Service,
5300 Homestead Road, NE, Albuquerque,
New Mexico 87110.
Director, Acoma-Canoncito-Laguna Service
Unit, Acoma-Canoncito-Laguna Indian
Hospital, P.O. Box 130, San Fidel, New
Mexico 87049.
Director, To’Hajille Health Center, P.O. Box
3528, Canoncito, New Mexico 87026.
Director, New Sunrise Treatment Center,
P.O. Box 219, San Fidel, New Mexico
87049.
Director, Albuquerque Service Unit,
Albuquerque Indian Hospital, 801 Vassar
Drive, NE., Albuquerque, New Mexico
87106.
Director, Albuquerque Indian Dental
Clinic, P.O. Box 67830, Albuquerque,
New Mexico 87193.
Director, Santa Fe Service Unit, Santa Fe
Indian Hospital, 1700 Cerrillos Road,
Santa Fe, New Mexico 87505.
Director, Santa Clara Health Center, RR5,
Box 446, Espanola, New Mexico 87532.
Director, San Felipe Health Center, P.O.
Box 4344, San Felipe, New Mexico
87001.
Director, Cochiti Health Center, P.O. Box
105, 255 Cochiti Street, Cochiti, New
Mexico 87072.
Director, Santo Domingo Health Center,
P.O. Box 340, Santo Domingo, New
Mexico 87052.

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Director, Southern Colorado-Ute Service
Unit, P.O. Box 778, Ignacio, Colorado
81137.
Director, Ignacio Indian Health Center, P.O.
Box 889, Ignacio, Colorado 81137.
Director, Ute Mountain Ute Health Center,
Towaoc, Colorado 81334.
Director, Jicarilla Indian Health Center,
P.O. Box 187, Dulce, New Mexico 87528.
Director, Mescalero Service Unit,
Mescalero Indian Hospital, P.O. Box 210,
Mescalero, New Mexico 88340.
Director, Taos/Picuris Indian Health
Center, P.O. Box 1956, 1090 Goat Springs
Road, Taos, New Mexico 87571.
Director, Zuni Service Unit, Zuni Indian
Hospital, P.O. Box 467, Zuni, New
Mexico 87327.
Director, Pine Hill Health Center, P.O. Box
310, Pine Hill, New Mexico 87357.
Director, Bemidji Area Indian Health Service,
522 Minnesota Avenue, NW., Bemidji,
Minnesota 56601.
Director, Red Lake Service Unit, PHS
Indian Hospital, Highway 1, Red Lake,
Minnesota 56671.
Director, Leech Lake Service Unit, PHS
Indian Hospital, 425 7th Street, NW.,
Cass Lake, Minnesota 56633.
Director, White Earth Service Unit, PHS
Indian Hospital, P.O. Box 358, White
Earth, Minnesota 56591.
Director, Billings Area Indian Health
Service, P.O. Box 36600, 2900 4th
Avenue North, Billings, Montana 59107.
Director, Blackfeet Service Unit, Browning
Indian Hospital, P.O. Box 760, Browning,
Montana 59417.
Director, Heart Butte PHS Indian Health
Clinic, Heart Butte, Montana 59448.
Director, Crow Service Unit, Crow Indian
Hospital, Crow Agency, Montana 59022.
Director, Lodge Grass PHS Indian Health
Center, Lodge Grass, Montana 59090.
Director, Pryor PHS Indian Health Clinic,
P.O. Box 9, Pryor, Montana 59066.
Director, Fort Peck Service Unit, Poplar
Indian Hospital, Poplar, Montana 59255.
Director, Fort Belknap Service Unit,
Harlem Indian Hospital, Harlem,
Montana 59526.
Director, Hays PHS Indian Health Clinic,
Hays, Montana 59526.
Director, Northern Cheyenne Service Unit,
Lame Dear Indian Health Center, Lame
Deer, Montana 59043.
Director, Wind River Service Unit, Fort
Washakie Indian Health Center, Fort
Washakie, Wyoming 82514.
Director, Arapahoe Indian Health Center,
Arapahoe, Wyoming 82510.
Director, Chief Redstone Indian Health
Center, Wolf Point, Montana 59201.
Director, California Area Indian Health
Service, John E. Moss Federal Building,
650 Capitol Mall, Suite 7–100,
Sacramento, California 95814.
Director, Nashville Area Indian Health
Service, 711 Stewarts Ferry Pike,
Nashville, Tennessee 37214–2634.
Director, Catawba PHS Indian Nation of
South Carolina, P.O. Box 188, Catawba,
South Carolina 29704.
Director, Unity Regional Youth Treatment
Center, P.O. Box C–201, Cherokee, North
Carolina 28719.

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Director, Navajo Area Indian Health Service,
P.O. Box 9020, Highway 264, Window
Rock, Arizona 86515–9020.
Director, Chinle Service Unit, Chinle
Comprehensive Health Care Facility,
Hwy 191 & Hospital Road, P.O. Drawer
PH, Chinle, Arizona 86503.
Director, Tsaile Health Center, P.O. Box
467, Navajo Routes 64 and 12, Tsaile,
Arizona 86556.
Director, Rock Point Field Clinic, c/o
Tsaile Health Center, P.O. Box 647,
Tsaile, Arizona 86557.
Director, Pinon Health Center, Navajo
Route 4, P.O. Box 10, Pinon, Arizona
86510.
Director, Crownpoint Service Unit,
Crownpoint Comprehensive Health Care
Facility, P.O. Box 358, Crownpoint, New
Mexico 87313.
Director, Pueblo Pintado Health Station,
c/o Crownpoint Comprehensive Health
Care Facility, P.O. Box 358, Crownpoint,
New Mexico 87313.
Director, Fort Defiance Service Unit, Fort
Defiance Indian Hospital, P.O. Box 649,
Intersection of Navajo Routes N12 and
N7, Fort Defiance, Arizona 86515.
Director, Nahata Dziil Health Center, P.O.
Box 125, Sanders, Arizona 86512.
Director, Gallup Service Unit, Gallup
Indian Medical Center, P.O. Box 1337,
Nizhoni Boulevard, Gallup, New Mexico
87305.
Director, Tohatchi Indian Health Center,
P.O. Box 142, Tohatchi, New Mexico
87325.
Director, Ft. Wingate Health Station, c/o
Gallup Indian Medical Center, P.O. Box
1337, Gallup, New Mexico 87305.
Director, Kayenta Service Unit, Kayenta
Indian Health Center, P.O. Box 368,
Kayenta, Arizona 86033.
Director, Inscription House Health Center,
P.O. Box 7397, Shonto, Arizona 86054.
Director, Dennehotso Clinic, c/o Kayenta
Health Center, P.O. Box 368, Kayenta,
Arizona 86033.
Director, Shiprock Service Unit, Northern
Navajo Medical Center, P.O. Box 160,
U.S. Hwy 491 North, Shiprock, New
Mexico 87420.
Director, Dzilth-Na-O–Dith-Hle Indian
Health Center, 6 Road 7586, Bloomfield,
New Mexico 87413.
Director, Four Corners Regional Health
Center, U.S. Hwy 160, Navajo Route 35–
Red Mesa, HRC 6100, Box 30, Teec Nos
Pos, Arizona 86514.
Director, Sanostee Health Station, c/o
Northern Navajo Medical Center, P.O.
Box 160, Shiprock, New Mexico 87420.
Director, Toadlena Health Station, c/o
Northern Navajo Medical Center, P.O.
Box 160, Shiprock, New Mexico 87420.
Director, Teen Life Center, c/o Northern
Navajo Medical Center, P.O. Box 160,
Shiprock, New Mexico 87420.
Director, Oklahoma City Area Indian Health
Service, Five Corporation Plaza, 3625
NW 56th Street, Oklahoma City,
Oklahoma 73112.
Director, Claremore Service Unit,
Claremore Comprehensive Indian Health
Facility, West Will Rogers Boulevard and
Moore, Claremore, Oklahoma 74017.

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Director, Clinton Service Unit, Clinton
Indian Hospital, Route 1, P.O. Box 3060,
Clinton, Oklahoma 73601–9303.
Director, El Reno PHS Indian Health
Clinic, 1631A E. Highway 66, El Reno,
Oklahoma 73036.
Director, Watonga Indian Health Center,
Route 1, Box 34–A, Watonga, Oklahoma
73772.
Director, Haskell Service Unit, PHS Indian
Health Center, 2415 Massachusetts
Avenue, Lawrence, Kansas 66044.
Director, Lawton Service Unit, Lawton
Indian Hospital, 1515 Lawrie Tatum
Road, Lawton, Oklahoma 73501.
Director, Anadarko Indian Health Center,
P.O. Box 828, Anadarko, Oklahoma
73005.
Director, Carnegie Indian Health Center,
P.O. Box 1120, Carnegie, Oklahoma
73150.
Director, Holton Service Unit, PHS Indian
Health Center, 100 West 6th Street,
Holton, Kansas 66436.
Director, Pawnee Service Unit, Pawnee
Indian Service Center, RR2, Box 1,
Pawnee, Oklahoma 74058–9247.
Director, Pawhuska Indian Health Center,
715 Grandview, Pawhuska, Oklahoma
74056.
Director, Tahlequah Service Unit, W. W.
Hastings Indian Hospital, 100 S. Bliss,
Tahlequah, Oklahoma 74464.
Director, Wewoka Indian Health Center,
P.O. Box 1475, Wewoka, Oklahoma
74884.
Director, Phoenix Area Indian Health
Service, Two Renaissance Square, 40
North Central Avenue, Phoenix, Arizona
85004.
Director, Colorado River Service Unit,
Chemehuevi Indian Health Clinic, P.O.
Box 1858, Havasu Landing, California
92363.
Director, Colorado River Service Unit,
Havasupai Indian Health Station, P.O.
Box 129, Supai, Arizona 86435.
Director, Colorado River Service Unit,
Parker Indian Health Center, 12033
Agency Road, Parker, Arizona 85344.
Director, Colorado River Service Unit,
Peach Springs Indian Health Center, P.O.
Box 190, Peach Springs, Arizona 86434.
Director, Colorado River Service Unit,
Sherman Indian High School, 9010
Magnolia Avenue, Riverside, California
92503.
Director, Elko Service Unit, Newe Medical
Clinic, 400 ‘‘A’’ Newe View, Ely, Nevada
89301.
Director, Elko Service Unit, Southern
Bands Health Center, 515 Shoshone
Circle, Elko, Nevada 89801.
Director, Fort Yuma Service Unit, Fort
Yuma Indian Hospital, P.O. Box 1368,
Fort Yuma, Arizona 85366.
Director, Keams Canyon Service Unit, Hopi
Health Care Center, P.O. Box 4000,
Polacca, Arizona 86042.
Director, Schurz Service Unit, Schurz
Service Unit Administration, Drawer A,
Schurz, Nevada 89427.
Director, Fort McDermitt Clinic, P.O. Box
315, McDermitt, Nevada 89421.
Director, Phoenix Service Unit, Phoenix
Indian Medical Center, 4212 North 16th
Street, Phoenix, Arizona 85016.

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Director, Phoenix Service Unit, Salt River
Health Center, 10005 East Osborn Road,
Scottsdale, Arizona 85256.
Director, San Carlos Service Unit, Bylas
Indian Health Center, P.O. Box 208,
Bylas, Arizona 85550.
Director, San Carlos Service Unit, San
Carlos Indian Hospital, P.O. Box 208,
San Carlos, Arizona 85550.
Director, Unitah and Ouray Service Unit,
Fort Duchesne Indian Health Center,
P.O. Box 160, Ft. Duchesne, Utah 84026.
Director, Whiteriver Service Unit, Cibecue
Health Center, P.O. Box 37, Cibecue,
Arizona 85941.
Director, Whiteriver Service Unit,
Whiteriver Indian Hospital, P.O. Box
860, Whiteriver, Arizona 85941.
Director, Desert Vision Youth Wellness
Center, P.O. Box 458, Sacaton, Arizona
85247.
Director, Nevada Skies Youth Wellness
Center, 104 Big Bend Ranch Road, P.O.
Box 280, Wadsworth, Nevada 89442.
Director, Portland Area Indian Health
Service, Room 476, Federal Building,
1220 Southwest Third Avenue, Portland,
Oregon 97204–2829.
Director, Colville Service Unit, Colville
Indian Health Center, P.O. Box 71–
Agency Campus, Nespelem, Washington
99155.
Director, Fort Hall Service Unit, Not-Tsoo
Gah-Nee Health Center, P.O. Box 717,
Fort Hall, Idaho 83203.
Director, Warm Springs Service Unit,
Warm Springs Indian Health Center, P.O.
Box 1209, Warm Springs, Oregon 97761.
Director, Wellpinit Service Unit, David C.
Wynecoop Memorial Clinic, P.O. Box
357, Wellpinit, Washington 99040.
Director, Western Oregon Service Unit,
Chemawa Indian Health Center, 3750
Chemawa Road, NE, Salem, Oregon
97305–1198.
Director, Yakama Service Unit, Yakama
Indian Health Center, 401 Buster Road,
Toppenish, Washington 98948.
Director, Tucson Area Indian Health Service,
7900 South ‘‘J’’ Stock Road, Tucson,
Arizona 85746–9352.
Chief Medical Officer, Pascua Yaqui
Service Unit, Division of Public Health,
7900 South ‘‘J’’ Stock Road, Tucson,
Arizona 85746.
Facility Director, San Xavier Indian Health
Center, 7900 South ‘‘J’’ Stock Road,
Tucson, Arizona 85746.
Director, Sells Service Unit, Santa Rosa
Indian Health Center, HCO1, P.O. Box
8700, Sells, Arizona 85634.
Director, Sells Service Unit, Sells Indian
Hospital, P.O. Box 548, Sells, Arizona
85634.
Director, Sells Service Unit, San Simon
Health Center, HC01 Box 8150, Sells,
Arizona 85634.

Appendix 2—Federal Archives and
Records Centers

[FR Doc. 2010–285 Filed 1–11–10; 8:45 am]

District of Columbia, Maryland Except U.S.
Court Records for Maryland, Washington
National Records Center, 4205 Suitland
Road, Suitland, Maryland 20746–8001.
Connecticut, Maine, Massachusetts, New
Hampshire, Rhode Island, and Vermont,

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Federal Archives and Records Center,
Frederick C. Murphy Federal Center, 380
Trapelo Road, Waltham, Massachusetts
02452–6399.
Northeast Region, Federal Archives and
Records Center, 10 Conte Drive, Pittsfield,
Massachusetts 01201–8230.
Mid-Atlantic Region and Pennsylvania,
Federal Archives and Records Center,
14700 Townsend Road, Philadelphia,
Pennsylvania 19154–1096.
Alabama, Florida, Georgia, Kentucky,
Mississippi, North Carolina, South
Carolina, and Tennessee, Federal Archives
and Records Center, 1557 St. Joseph
Avenue, East Point, Georgia 30344–2593.
Illinois, Indiana, Michigan, Minnesota, Ohio
and Wisconsin and U.S. Court Records for
the mentioned States, Federal Archives
and Records Center, 7358 South Pulaski
Road, Chicago, Illinois 60629–5898.
Michigan, Except U.S. Court Records, Federal
Records Center, 3150 Springboro Road,
Dayton, Ohio 45439–1883.
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U.S. Court Records for the mentioned
States, Federal Archives and Records
Center, 2312 East Bannister Road, Kansas
City, Missouri 64131–3011.
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for the mentioned States and territories,
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Missouri 64064–1182.
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and U.S. Courts Records for the mentioned
States, Federal Archives and Records
Center, P.O. Box 6216, Ft. Worth, Texas
76115–0216.
Colorado, Wyoming, Utah, Montana, New
Mexico, North Dakota, and South Dakota,
and U.S. Courts Records for the mentioned
States, Federal Archives and Records
Center, P.O. Box 25307, Denver, Colorado
80225–0307.
Northern California Except Southern
California, Hawaii, and Nevada Except
Clark County, the Pacific Trust Territories,
and American Samoa, and U.S. Courts
Records for the mentioned States and
territories, Federal Archives and Records
Center, 1000 Commodore Drive, San
Bruno, California 94066–2350.
Arizona, Southern California, and Clark
County, Nevada, and U.S. Courts Records
for the mentioned States, Federal Archives
and Records Center, 23123 Cajalco Road,
Perris, California 93570–7298.
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U.S. Courts Records for the mentioned
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Center, 6125 Sand Point Way NE, Seattle,
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BILLING CODE 4165–16–P

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DEPARTMENT OF HOUSING AND
URBAN DEVELOPMENT
[Docket No. FR–5322–N–01]

Public Housing Assessment System
(PHAS): Asset Management Transition
Year 2 Information
AGENCY: Office of the Assistant
Secretary for Public and Indian
Housing, HUD.
ACTION: Notice.
SUMMARY: This notice provides new
information related to scoring and
submission requirements for public
housing agencies (PHAs) under the
Public Housing Assessment System
(PHAS) for PHA fiscal years ending June
30, 2009, September 30, 2009, December
31, 2009, and March 31, 2010. These
fiscal years coincide with the second
year of project-based budgeting and
accounting under asset management,
also known as ‘‘Transition Year 2.’’
FOR FURTHER INFORMATION CONTACT: The
Office of Public and Indian Housing,
Real Estate Assessment Center (REAC),
Attention: Wanda Funk, Department of
Housing and Urban Development, 550
12th Street, SW., Suite 100, Washington,
DC 20410; telephone number (REAC
Technical Assistance Center) 888–245–
4860 (this is a toll-free number). Persons
with hearing or speech impairments
may access this number through TTY by
calling the toll-free Federal Information
Relay Service at 800–877–8339.
SUPPLEMENTARY INFORMATION:

I. Background
A. Background on PHAS
PHAS was established by a final rule
published on September 1, 1998 (63 FR
46596). Prior to 1998, PHAs were
evaluated by HUD under the Public
Housing Management Assessment
Program (PHMAP), the regulations for
which are found at 24 CFR part 901.
PHAS expanded assessment of a PHA to
four key areas of a PHA’s operations: (1)
The physical condition of the PHA’s
properties; (2) the PHA’s financial
condition; (3) the PHA’s management
operations submitted as a selfcertification; and (4) the resident service
and satisfaction assessment (through a
resident survey).
Under the current PHAS, and on the
basis of these four indicators, a PHA
receives a composite score that
represents a single score for a PHA’s
entire operation and a corresponding
performance designation. PHAs that are
designated high performers receive
public recognition and relief from
specific HUD requirements. PHAs that
are designated standard and

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